Required Paperwork for Transfer

Custodial

IRA Custodian to IRA Custodian

  • Custodian’s Transfer Paperwork
  • Signed and Medallion Signature guaranteed by releasing and accepting Custodians

IRA Custodian to Individual

  • Custodian’s Transfer Paperwork
  • Signed and Medallion Signature guaranteed by releasing Custodian (must have Investor SSN)

Individual Re-Registration

Individual to Trust

  • Letter of Instruction signed by Investor(s)
  • Copy of the Title and notarized signature page of the Trust (or affidavit of trust)
  • W-9 is needed if registration is to new tax id

Adding a Joint Tenant

  • Letter of Instruction with Signature of original investor and the new investor and social security number.
  • FINRA Transfer Form

Gift

Individual to Individual as a Gift

  • Letter of Instruction
  • FINRA Transfer Form with Medallion Signature Guaranteed by transferor and transferee

Death

Transfer to Trust After Death

  • Copy of the Will showing the specific established Trust it should be transferred into.
  • Original Certified Death Certificate
  • W-9 for the Trust (if applicable)

Individual to Estate

  • Letter of Instruction
  • Original Certified Death Certificate
  • Letters Testamentary (or will stating executor/executrix)
  • W-9 for individual, or estate tax id

Individual to Individual due to death

  • Letter of Instruction
  • Original Certified Death Certificate
  • Letters Testamentary (or will stating executor/executrix)
  • FINRA Transfer Form

Joint Tenant to Individual due to death

  • Letter of Instruction
  • Original Certified Death Certificate
  • W-9 if tax id is under the decedent party

Individual or Joint Tenant to Transfer on Death Beneficiary

Re-Registration to Transfer on Death

Only individuals whose registration is sole ownership or joint tenants with right of survivorship may obtain registration in beneficiary form.

Trusts

Trust to Subscriber

Change of Trustee

  • Letter of Instruction
  • Trust pages: Title, Notarized Signature, and Successor trustee pages (only if new Trustee is not on current registration)
  • Original Certified Death Certificate (if applicable)
  • W-9 if there is a change of Tax Id

Note: The forms are in PDF format and require Adobe Acrobat Reader v4.x or higher. If you don't have it, click here to download a free copy to install. This is required to view and print the form.